Contacts on MiFID, 2014-2017
Dear madams and sirs in DG FISMA,
Under the right of access to documents in the EU treaties, as developed in Regulation 1049/2001, I would hereby like to ask all correspondance (including emails) and meeting records involving:
- Jonathan Faull, Director General of DG MARKT and DG FISMA (2010-2015)
- Olivier Guersent, Head of Commissioner's Barnier cabinet (2010-2014), Deputy Director General of DG MARKT and DG FISMA (2014-2015) and General Director (2016-2017)
- Felicia Stanescu, assistant to J. Faull then Ol. Guersent
- Elemer Tertak, adviser to J. Faull
- John Berrigan, Deputy Director General of DG FISMA (2016-2017)
- Matthew Baldwin, Head of Commsssioner's Hill cabinet then (2014-2016)
- Lee Foulger, member of Commissioners' Hill and Dombrovskis cabinets (2014-2016)
- Mette Grolleman, member of Commissioners' Hill and Dombrovskis cabinets (2014-2016)
- Jan Ceyssens, member of Commissioner's Dombrovskis cabinet (2014-2017)
- Martin Merlin, Director C (2015-2016
- Ugo Bassi, Director C (2016-2017)
- Niall Bohan, Head of Unit G1
- Partick Pearson, Head of Unit G2
- Maria Teresa Fabregas Fernandez, Deputy and then Head of Unit C2
- Tilman Lueder, Head of Unit C4 then C3
- Sven Gentner, Head of Unit C4
- Philip Tod, deputy and then acting head of unit G1 (2014-2015)
- Jennifer Roberston, deputy head of unit C2
- Jung-Dux Lichtenberger, deputy head of unit C1
- Ulf Linder, deputy head of unit C4
- Tatyana Panova. deputy head of unit C3
- Andrea Beltramello, policy officer (2015-2016), then Deputy Head of Unit (2017) at DG FISMA
- Sébastien Bagot, policy officer
- Sabine Schönangerer, policy officer
- Tommy De Temmerman, policy officer
- Valeria Miceli, policy officer
and Industry, Associations, Trade Unions and Academics on all issues concerning MiFID/MiFIR II between June 2014 and December 2017.
Since my request means a considerable amount of work from you side, I accept an extension of the deadline up to the end of September 2018.
As in my previous requests:
My request includes all electronic and paper correspondance with interest groups (trying to represent private and special interests or the pubic interest) and reports or minutes of meetings with them.
I'm interested in all non-governemental stakeholders that interacted with the fore mentioned Commission officials on MiFID/MiFIR II. I mention some as examples, but my request is not limited to them: trade associations such as AFME, EFAMA, ICMA, FESE, FIA Europe, FIA-EPTA, ISDA, FOA, EACH, ECSDA, Invest Europe, EFET, FEFAC, EuropeanIssuers and their members (companies be it banks or other financial or non-financial corporations), as well as their extra-EU counterparts. Financial industry companies such as LSEG and Chi-X or Reuters and Bloomberg. Accounting and consulting firms such PWC, Deloitte, EY etc. Pubic affairs consultancies and law firms representing stakeholders. SMEs' trade associations. Trade unions such as Uni-Europa, Nordic financial unions or any other unions that had contacts with these officials on MiFID/R II. Retail investor associations such as Better Finance or others including national ones. NGOs such as Finance Watch, Oxfam, Global Justice, SOMO, WEED etc. Any academics that might have exchanged ideas on MiFID issues with the fore mentioned Commission officials.
I would like to include in my request all subject matters of MiFID/MiFIR II. I mention some as examples, without my request being limited to them: market structure rules (on RMs, MTFs, OTFs, SIs and OTC trading), scope of the trading obligation on oragnised venues, transparency waivers, market data publication and consolidated tape, rules on HFT, rules on commodity derivatives, investors' protection and third coutries regime.
Yours faithfully,
Georgios Vassalos
Dear Sir,
Thank you for your request for access to documents.
Unfortunately you have not indicated your postal address that is required
for registering and handling your request in line with the procedural
requirements. Please send us your full postal address at your earliest
convenience. Pending your reply, we reserve the right to refuse the
registration of your request.
You may, of course, use directly the electronic form for entering your
request:
[1]http://ec.europa.eu/transparency/regdoc/...
You have lodged your application via the AsktheEU.org website. Please note
that this is a private website which has no link with any institution of
the European Union. Therefore the European Commission cannot be held
accountable for any technical issues or problems linked to the use of this
system.
Please note also that the European Commission is not responsible for any
possible processing of personal data by the private organisation running
the AsktheEU.org website, through which you have channelled your request.
Please refer to their privacy policy.
Yours faithfully,
ACCESS TO DOCUMENTS TEAM (GD)
[2]cid:image001.png@01D3BD42.20769590
European Commission
Secretariat-General
SG B.4 – Transparency
[3][email address]
Dear Financial Stability, Financial Services and Capital Markets Union,
It is the third time in 2018 you are asking me my postal address.
I just sent it to you by e-mail once more.
Please note that in 2017, the European Ombudsman ruled that "the Commission’s requirement that all persons who ask for public access to documents must provide their postal address (...), is maladministration" https://www.ombudsman.europa.eu/cases/de...
Yours faithfully,
Georgios Vassalos
Link: [1]File-List
Link: [2]Edit-Time-Data
Link: [3]themeData
Link: [4]colorSchemeMapping
[5]Ares(2018)3533098 - Your request for access to documents - Gestdem
2018/3568
Sent by ve_sg.accessdoc (SG) <[DG FISMA request email]>. All responses have
to be sent to this email address.
Envoyé par ve_sg.accessdoc (SG) <[DG FISMA request email]>. Toutes les
réponses doivent être effectuées à cette adresse électronique.
Dear Sir,
Thank you for your e-mail dated 29/06/2018. We hereby acknowledge receipt
of your application for access to documents, which was registered on
03/07/2018 under reference number GestDem 2018/3568.
In accordance with Regulation (EC) No 1049/2001 regarding public access to
European Parliament, Council and Commission documents, your application
will be handled within 15 working days. The time limit will expire on
24/07/2018. In case this time limit needs to be extended, you will be
informed in due course.
You have lodged your application via the AsktheEU.org website. Please note
that this is a private website, which has no link with any institution of
the European Union. Therefore, the European Commission cannot be held
accountable for any technical issues or problems linked to the use of this
system.
Please note also that the European Commission is not responsible for any
possible processing of personal data by the private organisation running
the AsktheEU.org website, through which you have channelled your request.
Please refer to their privacy policy.
Yours faithfully,
ACCESS TO DOCUMENTS TEAM
[6]cid:image001.png@01D3BD42.20769590
European Commission
Secretariat-General
SG B.4 – Transparency
[7][email address]
References
Visible links
1. file:///tmp/cid:filelist.xml@01D412F1.DFFFD250
2. file:///tmp/cid:editdata.mso
3. file:///tmp/~~themedata~~
4. file:///tmp/~~colorschememapping~~
5. https://webgate.ec.testa.eu/Ares/ext/doc...
7. mailto:[email address]
[1]Ares(2018)3825497 - Access request - Vassalos - Gestdem 2018/3568 -
Contacts on MiFID, 2014-2017
Sent by ve_fisma.c.3 (FISMA) <[email address]>. All responses have
to be sent to this email address.
Envoyé par ve_fisma.c.3 (FISMA) <[email address]>. Toutes les
réponses doivent être effectuées à cette adresse électronique.
Dear Mr Vassalos,
As for your previous requests with references Gestdem 2017/4398, 2018/0402
and 2018/2075, the current request means a considerable amount of work,
due the number of documents referred to in the request and their volume,
but also on their nature and the diversity of the tasks required to find
these documents. The process does not only include searching, extracting,
printing and sending documents from a database, but also requires an
in-depth analysis of the documents, consultation of third parties,
redaction of personal data and finally the elaboration of a draft answer.
The workload led by dealing with your request is disproportionate, as
compared with the objectives of the application, and will substantially
impair the activities of unit C3, which is a small unit with a huge amount
of legislative work. Due to this everyday heavy workload and,
additionally, the reduced staff due to summer holidays, we are not in a
position to assign colleagues to deal full time with your request for
several months, which would have a negative impact on the operational
performance of our Unit.
Hence, we kindly invite you to agree on an extension of the time limit to
handle your application, i.e. until 30 November 2018.
Thank you in advance for your understanding.
Yours sincerely,
European Commission
DG Financial Stability, Financial Services and Capital Markets Union
FISMA C3
Dear Financial Stability, Financial Services and Capital Markets Union,
I understand you need some extra time for this request but I think the total period of five months you are asking instead of the three months I directly proposed you is far too long. Especially when you managed to handle my two previous very similar requests in 4 months the first and in 2½ months the second one.
I suggest we find a compromise on 4 months and therefore you deliver your answer by the end of October.
Yours faithfully,
Georgios Vassalos
Link: [1]File-List
Link: [2]themeData
Link: [3]colorSchemeMapping
[4]Ares(2018)3926750 - Access to documents request - VASSALOS - Gestdem
2018/3568 - Contacts on MiFID, 2014-2017
Sent by ve_fisma.c.3 (FISMA) <[email address]>. All responses have
to be sent to this email address.
Envoyé par ve_fisma.c.3 (FISMA) <[email address]>. Toutes les
réponses doivent être effectuées à cette adresse électronique.
Dear Mr Vassalos,
Thank you for your message.
As mentioned in our previous message, your request entails a huge
workload. The first step is to extract the relevant documents from our
document management database, which, unfortunately, does not offer an easy
historical research function. I would like to remind you that, contrary to
your previous requests, you have more than doubled the list of
correspondents.
Extracting and selecting the documents from the lists provided by our
document management database is a very meticulous and time consuming task
and each document has to be processed individually.
Moreover, please note that for the technical part (i.e. searching for,
extracting, printing documents, consultation of third parties and
redaction of personal data individually on each document), we have only
one person assigned to deal with it in our small team and that person has,
as well, many other responsibilities and tasks to carry out. Since,
additionally, the months of September and October will be very busy in
terms of legislative procedures, we hope you will understand that, despite
the fact that we will do our best to deliver the document timely, it will
be difficult to do so by end of October.
We will do our very best to meet the deadline of 30 November 2018.
We thank you in advance for your understanding.
With kind regards,
European Commission
DG Financial Stability, Financial Services and Capital Markets Union
FISMA C3 – Securities markets
Link: [1]File-List
Link: [2]themeData
Link: [3]colorSchemeMapping
[4]Ares(2018)6125153 - Access to documents request - VASSALOS - Gestdem
2018/3568 - Contacts on MiFID, 2014-2017
Sent by ve_fisma.c.3 (FISMA) <[email address]>. All responses have
to be sent to this email address.
Envoyé par ve_fisma.c.3 (FISMA) <[email address]>. Toutes les
réponses doivent être effectuées à cette adresse électronique.
Dear Mr Vassalos,
We refer to your email dated 29 June 2018, through which you submitted an
application in accordance with Article 7(2) of Regulation (EC) No
1049/2001 regarding public access to European Parliament, Council and
Commission documents ("Regulation 1049/2001").
Your application is currently being handled. However, various
administrative steps with regard to your request still need to be carried
out. We will therefore not be in a position to complete the handling of
your application within the time limit, which expires on 30 November 2018.
We can assure you that we are doing our utmost to provide you with a final
reply as soon as possible (at the latest by mid-December). We regret this
additional delay and sincerely apologise for any inconvenience this delay
may cause.
Yours sincerely,
European Commission
DG Financial Stability, Financial Services and Capital Markets Union
FISMA C3 – Securities markets
From: EC ARES NOREPLY <[5][email address]>
Sent: Tuesday, July 24, 2018 2:54 PM
To: [6][FOI #5701 email]
Cc: FISMA C3 <[7][email address]>; FISMA ACCES DOCUMENTS
<[8][email address]>
Subject: Ares(2018)3926750 - Access to documents request - VASSALOS -
Gestdem 2018/3568 - Contacts on MiFID, 2014-2017
[9]Ares(2018)3926750 - Access to documents request - VASSALOS - Gestdem
2018/3568 - Contacts on MiFID, 2014-2017
Sent by ve_fisma.c.3 (FISMA) <[10][email address]>. All responses
have to be sent to this email address.
Envoyé par ve_fisma.c.3 (FISMA) <[11][email address]>. Toutes les
réponses doivent être effectuées à cette adresse électronique.
Dear Mr Vassalos,
Thank you for your message.
As mentioned in our previous message, your request entails a huge
workload. The first step is to extract the relevant documents from our
document management database, which, unfortunately, does not offer an easy
historical research function. I would like to remind you that, contrary to
your previous requests, you have more than doubled the list of
correspondents.
Extracting and selecting the documents from the lists provided by our
document management database is a very meticulous and time consuming task
and each document has to be processed individually.
Moreover, please note that for the technical part (i.e. searching for,
extracting, printing documents, consultation of third parties and
redaction of personal data individually on each document), we have only
one person assigned to deal with it in our small team and that person has,
as well, many other responsibilities and tasks to carry out. Since,
additionally, the months of September and October will be very busy in
terms of legislative procedures, we hope you will understand that, despite
the fact that we will do our best to deliver the document timely, it will
be difficult to do so by end of October.
We will do our very best to meet the deadline of 30 November 2018.
We thank you in advance for your understanding.
With kind regards,
European Commission
DG Financial Stability, Financial Services and Capital Markets Union
FISMA C3 – Securities markets
Dear Financial Stability, Financial Services and Capital Markets Union,
Can you please give me a date?
Yours faithfully,
Georgios Vassalos
Your message has been received by the Transparency Unit of the
Secretariat-General of the European Commission.
Requests for public access to documents are treated on the basis of
[1]Regulation (EC) No 1049/2001 of 30 May 2001 regarding public access to
European Parliament, Council and Commission documents.
The Secretariat-General will reply to your request within 15 working days
upon registration of your request and will duly inform you of the
registration of the request (or of any additional information to be
provided in view of its registration and/or treatment).
L’unité «Transparence» du secrétariat général de la Commission européenne
a bien reçu votre message.
Les demandes d’accès du public aux documents sont traitées sur la base du
[2]règlement (CE) n° 1049/2001 du 30 mai 2001 relatif à l’accès du public
aux documents du Parlement européen, du Conseil et de la Commission.
Le secrétariat général répondra à votre demande dans un délai de 15 jours
ouvrables à compter de la date d’enregistrement de votre demande, et vous
informera de cet enregistrement (ou vous indiquera toute information
supplémentaire à fournir en vue de l'enregistrement et/ou du traitement de
votre demande).
Ihre Nachricht ist beim Referat „Transparenz“ des Generalsekretariats der
Europäischen Kommission eingegangen.
Anträge auf Zugang zu Dokumenten werden auf der Grundlage der
[3]Verordnung (EG) Nr. 1049/2001 vom 30. Mai 2001 über den Zugang der
Öffentlichkeit zu Dokumenten des Europäischen Parlaments, des Rates und
der Kommission behandelt.
Das Generalsekretariat beantwortet Ihre Anfrage innerhalb von
15 Arbeitstagen nach deren Registrierung und wird Sie über die
Registrierung Ihres Antrags (oder die Notwendigkeit weiterer Informationen
im Hinblick auf dessen Registrierung und/oder Bearbeitung) unterrichten.
References
Visible links
1. https://eur-lex.europa.eu/legal-content/...
2. https://eur-lex.europa.eu/legal-content/...
3. https://eur-lex.europa.eu/legal-content/...
Dear Mr Vassalos,
Please find attached the reply to your request for access to documents
pursuant to Regulation (EC) N° 1049/2001 regarding public access to
European Parliament, Council and Commission documents with ref. GestDem
2018/3568 and its annexes.
Due to the large amount of documents, you will receive around three emails
containing documents.
This letter is sent by email and also by registered mail requesting
acknowledgment of receipt (however without annexes).
Yours sincerely,
European Commission
DG Financial Stability, Financial Services and Capital Markets Union
FISMA C3
2 -
Dear Mr Vassalos,
Please find attached the reply to your request for access to documents
pursuant to Regulation (EC) N° 1049/2001 regarding public access to
European Parliament, Council and Commission documents with ref. GestDem
2018/3568 and its annexes.
Due to the large amount of documents, you will receive around three emails
containing documents.
This letter is sent by email and also by registered mail requesting
acknowledgment of receipt (however without annexes).
Yours sincerely,
European Commission
DG Financial Stability, Financial Services and Capital Markets Union
FISMA C3
3 -
Dear Mr Vassalos,
Please find attached the reply to your request for access to documents
pursuant to Regulation (EC) N° 1049/2001 regarding public access to
European Parliament, Council and Commission documents with ref. GestDem
2018/3568 and its annexes.
Due to the large amount of documents, you will receive around three emails
containing documents.
This letter is sent by email and also by registered mail requesting
acknowledgment of receipt (however without annexes).
Yours sincerely,
European Commission
DG Financial Stability, Financial Services and Capital Markets Union
FISMA C3
4 -
Dear Mr Vassalos,
Please find attached the reply to your request for access to documents
pursuant to Regulation (EC) N° 1049/2001 regarding public access to
European Parliament, Council and Commission documents with ref. GestDem
2018/3568 and its annexes.
Due to the large amount of documents, you will receive around three emails
containing documents.
This letter is sent by email and also by registered mail requesting
acknowledgment of receipt (however without annexes).
Yours sincerely,
European Commission
DG Financial Stability, Financial Services and Capital Markets Union
FISMA C3
5 -
Dear Mr Vassalos,
Please find attached the reply to your request for access to documents
pursuant to Regulation (EC) N° 1049/2001 regarding public access to
European Parliament, Council and Commission documents with ref. GestDem
2018/3568 and its annexes.
Due to the large amount of documents, you will receive around three emails
containing documents.
This letter is sent by email and also by registered mail requesting
acknowledgment of receipt (however without annexes).
Yours sincerely,
European Commission
DG Financial Stability, Financial Services and Capital Markets Union
FISMA C3